MAVEN DEI ASSET MANAGEMENT LLC
Adviser information for MAVEN DEI ASSET MANAGEMENT LLC last updated from Form ADV on December 21st, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | JUNE |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | – |
|---|---|
| Compensation | – |
Identifiers
| SEC RIA File Number | 802-126148 |
|---|---|
| SEC ERA File Number | 802-126148 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 322111 |
| Legal Entity Identifier | 2549007TBHTOH3F8X988 |
Principal Office
20TH FLOOR, 675 THIRD AVENUENEW YORK
NY
United States
Monday - Friday, 09:00 - 17:00
Tel: +1-917-979-2733, Fax: None
Chief Compliance Officer
ALEXANDER DONNELLY
HEAD OF COMPLIANCE (EUROPE)
LEVEL 7
155 BISHOPSGATE
LONDON
United Kingdom
Tel:
+44 2036502188
C*********@******************M
(Full email address available in API data)
Industry Affiliates
| MAVEN DE & I GP LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| MAVEN GLOBAL MARKETS TRADING LLP | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| MAVEN DIVERSITY, EQUITY AND INCLUSION MASTER FUND LIMITED | Hedge Fund | $12.5M | $0.1M | 12 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MAVEN SECURITIES LTD | Foreign Entity | – | SOLE MEMBER | 11/2021 | > 75% |
| NOORIZADEH, NIMA | Individual | – | CHIEF EXECUTIVE OFFICER | 11/2021 | < 5% |
| TOON, IAN, MARK | Individual | MAVEN SECURITIES LTD | SHAREHOLDER | 08/2011 | 25-50% |
| CASTILLO, JOSE, RICARDO | Individual | – | CHIEF INVESTMENT OFFICER | 11/2021 | < 5% |
| CAO, WEN, D | Individual | – | CHIEF RISK OFFICER | 03/2023 | < 5% |
| DONNELLY, ALEXANDER | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2023 | < 5% |